RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J•••• W••• L•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 4, 2019 · Ft Worth, Tx
- F•• S••••••••• C••••••••• formerSep 25, 2009 to Oct 10, 2019 · Dallas, Tx
- B•• F•••••••• G••••• L•• formerFeb 19, 2004 to Sep 22, 2009 · Southlake, Tx
- F•• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 10, 2019, registered Oct 4, 2019 (-6 days) · corporate re-registration, not a move
- B•• F•••••••• G••••• L•• to F•• S••••••••• C•••••••••left Sep 22, 2009, registered Sep 25, 2009 (3 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address